Field Compliance Supervisor
6 days ago
Saxony Securities, Inc. is seeking an experienced Field Compliance Supervisor to join our team. As a key member of our Compliance Department, you will be responsible for overseeing branch office supervision, monitoring account and trade activity, and supporting branch offices in upholding regulatory and firm standards.
This is a unique opportunity to work with a dynamic and forward-thinking organization that empowers its Financial Advisors to redefine independence without sacrificing ownership or control. If you have a passion for compliance and a strong desire to make a meaningful contribution to our team, we encourage you to apply.
Salary: $85,000 - $125,000 per year (based on experience)
Key Responsibilities- Lead Branch Supervision: Oversee branch office supervision, leveraging electronic systems and reports to monitor account and trade activity.
- Collaborate with Advisors: Work closely with Financial Advisors and branch teams to build compliant and successful practices.
- Develop Compliance Programs: Design and implement effective compliance programs to ensure firm-wide adherence to industry regulations.
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